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FINRA General Securities Representative (SIE) Free Practice Questions

Getting ready for your FINRA General Securities Representative SIE exam can feel like a big hurdle, right? Don't worry, we've got your back! Jump into our completely free SIE practice questions - they're just like the real test, designed to help you get comfortable and pinpoint exactly what you need to study more. Let's get you feeling super confident for exam day!

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  5. Securities Industry Essentials Exam (SIE) Practice Questions
1. Which of the following is considered nonpublic information?
2. Which of the following must a registered representative disclose as an outside business activity (OBA)...
3. A currency devaluation impacts a country's economic activity in which of the following ways?
4. After a customer purchases bonds at a yield of 5.
5. A registered representative (RR) receives a mutual fund order from a customer at 4:10 p.
6. The primary market is regulated by the SEC under which of the following acts?
7. Which of the following rates is subject to the most frequent changes?
8. At a prospecting event, a registered representative (RR) provides cards for attendees to write down...
9. The process in which the buying firm must pay for the securities and the selling...
10. A municipal securities dealer makes a political contribution of $990 to a local mayoral candidate.
11. Company XYZ is a U.
12. Which of the following products is the most appropriate class of investments for a customer...
13. Which of the following statements best describes an American Depositary Receipt (ADR)?
14. Which of the following transactions gives a U.
15. Which of the following activities is permitted during the cooling-off period of an initial public...
16. Which of the following responses best describes a short sale?
17. Which of the following responses best characterizes a money market mutual fund?
18. The cash value of a variable life insurance policy is affected by which of the...
19. Corporate bonds unsecured by any pledge of property are called:
20. If an investor is bullish on ABC, which of the following actions will he most...

FINRA SIE Summary

  • Vendor: FINRA
  • Product: SIE
  • Update on: Jul 22, 2025
  • Questions: 164
  • Page: 1 / 3
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TESTED 02 Aug 2025